Showing 221 to 230 of 299 search results for enforcement action against.

221. The regulatory challenge

     Speeches Published: 23/02/2015 Last modified: 24/02/2015
     Speech by Tracey McDermott, director of enforcement and financial crime at the Financial Conduct Authority (FCA), delivered at Deloitte’s Chief Compliance Officer Event. ... If you say you want something but your actions say something else, nothing

222. Alex Hope and Raj Von Badlo sentenced following FCA prosecution

     Press Releases Published: 30/01/2015 Last modified: 30/01/2015
     Commenting on the case, Georgina Philippou, acting director of enforcement and market oversight, said:. ... Over 75 investors gave £4.29 million to Hope as a result of Von Badlo’s actions.

223. Compensation package agreed for consumers sold card security products

     Press Releases Published: 27/01/2015 Last modified: 28/01/2015
     If the Scheme is approved by voters, all eligible customers, even those who voted against it, will still be able to submit a claim for compensation. ... No FCA enforcement action has been taken against Affinion or any of the banks or credit card issuers.

224. The retrospective application of rules: feedback on the call for examples

     News stories Published: 22/01/2015 Last modified: 19/11/2021
     We asked firms to provide examples of the retrospective application of regulatory rules

225. Two former senior executives of Martin Brokers fined and banned for compliance failings related to LIBOR

     Press Releases Published: 22/01/2015 Last modified: 22/01/2015
     This follows previous enforcement action against Martins: in 2014 the FCA fined Martins £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR). ... Georgina Philippou, acting director of enforcement and market oversight at the FCA,

226. Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products and to fine and ban two of its partners

     Press Releases Published: 20/01/2015 Last modified: 24/11/2021
     The Upper Tribunal (Tribunal) has upheld the decision of the Financial Conduct Authority (FCA) to issue a public censure against Arch Financial Products LLP (Arch), and to prohibit Robin Farrell, its chief executive, and Robert Addison, a senior

227. Learning the lessons of the past as an industry

     Speeches Published: 02/12/2014 Last modified: 04/02/2015
     Clearly the publicity that enforcement action brings helps to focus minds, particularly at the top of firms. ... That is where I think enforcement action has its value; not just as a punishment but as a very public lesson from which all market

228. The commercial importance of culture to industry

     Speeches Published: 02/12/2014 Last modified: 02/12/2014
     It will always be the case that enforcement is a key FCA tool. ... So, for example, if you look at last month’s response to FX, enforcement action was coupled with forward looking supervisory work, as well as continuing policy and thematic activity.

229. CASS compliance – the bigger picture

     Speeches Published: 02/12/2014 Last modified: 19/12/2014
     Speech by David Lawton, director of markets at the FCA, delivered at the FCA CASS Conference 2014 event for CASS large firms. This is the text of the speech as drafted, which may differ from the delivered version.

230. FCA Enforcement and the Wholesale Markets

     Speeches Published: 26/11/2014 Last modified: 30/01/2015
     Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the 13th Annual FX Week Europe, London. This is the text of the speech as drafted, which may differ from the delivered